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Showing 461 to 470 of 1206 search results for asset management study.

  1. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  2. Invesco UK / Invesco Asset Management (Clone of FCA Authorised firms)

    Warnings Published: 31/07/2020 Last modified: 12/07/2021
    Invesco UK / Invesco Asset Management (Clone of FCA Authorised firms) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this

  3. HSBC Global Banking and Markets / HSBG GAM Investment Bank / HSBC Global Asset Management (clone of FCA authorised firms)

    Warnings Published: 27/03/2020 Last modified: 21/11/2020
    HSBC Global Banking and Markets / HSBG GAM Investment Bank / HSBC Global Asset Management (clone of FCA authorised firms) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out

  4. Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

    About us What we do Published: 23/01/2018 Last modified: 23/05/2022
    OPBAS is the Office for Professional Body Anti-Money Laundering Supervision

  5. Cryptoassets: AML / CTF regime - Registering with the FCA

    Published: 22/03/2023 Last modified: 01/07/2024
    You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

  6. 2020 fines

    News stories Published: 21/01/2020 Last modified: 02/12/2022
    This page contains information about enforcement fines published during the calendar year ending 2020.

  7. LTAF valuation and pricing requirements

    Firms Published: 24/11/2022 Last modified: 24/11/2022
    This page is intended to help investors and potential investors understand how their units in a Long-Term Asset Fund are priced.

  8. DP23/2: Updating and improving the UK regime for asset management [pdf]

    Discussion papers Published: 20/02/2023
    This discussion paper sets out some ideas about how the FCA might modernise the asset management regime to improve outcomes for UK markets and consumers.

  9. Consumer Duty webinar – consumer investment, pensions, asset management – transcript [pdf]

    Transcripts Published: 13/12/2022
    Consumer Duty webinar – consumer investment, pensions, asset management – transcript

  10. September 2014: Internal Audit report: A review of the adequacy and effectiveness of controls for Software Asset Management (SAM) [pdf]

    Corporate documents Published: 21/10/2015 Last modified: 25/01/2016
    This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury